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University of Southampton Research Repository Eprints Soton University of Southampton Research Repository ePrints Soton Copyright © and Moral Rights for this thesis are retained by the author and/or other copyright owners. A copy can be downloaded for personal non-commercial research or study, without prior permission or charge. This thesis cannot be reproduced or quoted extensively from without first obtaining permission in writing from the copyright holder/s. The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the copyright holders. When referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given e.g. AUTHOR (year of submission) "Full thesis title", University of Southampton, name of the University School or Department, PhD Thesis, pagination http://eprints.soton.ac.uk UNIVERSITY OF SOUTHAMPTON Understanding institutional collaboration networks: Effects of collaboration on research impact and productivity by Jiadi Yao A thesis submitted in partial fulfillment for the degree of Doctor of Philosophy in the Web and Internet Science Group Electronics and Computer Science Faculty of Physical and Applied Sciences June 2014 UNIVERSITY OF SOUTHAMPTON Abstract Web and Internet Science Group Electronics and Computer Science Faculty of Physical and Applied Sciences Doctor of Philosophy by Jiadi Yao There is substantial competition among academic institutions. They compete for stu- dents, researchers, reputation, and funding. For success, they need not only to excel in teaching, but also their research profile is considered an important factor. Institutions accordingly take actions to improve their research profiles. They encourage researchers to publish frequently and regularly (publish or perish) on the assumption that this generates both more and better research. Collaboration has also been encouraged by institutions and even required by some funding calls. This thesis examines the empirical evidence on the interrelations among institutional research productivity, impact and collaborativity. It studies article publication data across ACM and Web of Science covering five dis- ciplines { Computer Science, Pharmacology, Materials Science, Psychology and Law. Institutions that publish less seek to publish collaboratively with other institutions. Col- laboration boosts productivity for all the disciplines investigated excepted Law; however, the amount of productivity increase resulting from the institutions' attempt to collab- orate more is small. The world's most productive institutions publish at least 50% of their papers on their own. Institutions doing more collaborative work are not found to correlate strongly with their impact either. The correlation between collaborativ- ity and individual paper impact or institutional impact is small once productivity has been partialled out. In Computer Science, Pharmacology and Materials Science, no correlation is found. The decisive factor appears to be productivity. Partialling out pro- ductivity results in the largest reductions in the remaining correlations. It may be that only better equipped and well-funded institutions can publish without having to rely on external collaborators. These institutions have been publishing most of their output non-collaboratively, and are also of high quality and highly reputable, which may have equipped and funded them in the first place. Contents Abstract iii List of Figures xi List of Tables xiii Declaration of Authorship xv Acknowledgements xix Abbreviations xx 1 Introduction1 1.1 Research Collaboration.............................2 1.2 Funding Research................................2 1.3 The Role of Universities in Research.....................3 1.4 Competitions between Universities and Scientists in Research.......4 1.5 Research Contributions............................5 1.6 Thesis Structure................................5 2 Measuring Research Activities and their Relationships7 2.1 Research Collaboration.............................7 2.1.1 Co-authorship as Collaboration Measurement............8 2.1.2 Other Approaches to Measure Collaboration............ 10 2.1.3 Collaboration Model of Institutions.................. 10 2.1.4 Collaboration at the Micro Level................... 12 2.1.5 Summary of measuring research collaboration............ 13 2.2 Research Productivity............................. 13 2.2.1 Publication Attribution........................ 15 2.2.2 Summary of measuring research productivity............ 16 2.3 Research impact................................ 17 2.3.1 Research Impact using Bibliometric Methods............ 19 2.3.1.1 Citation Count........................ 20 Author Self-citation...................... 20 2.3.1.2 Windowed Citation Count................. 21 v vi CONTENTS 2.3.1.3 PageRank Weighted Citation................ 21 2.3.1.4 Network-based Centrality Measures............ 22 2.3.1.5 Journal Impact as an Indicator of Article Impact..... 23 2.3.1.6 Reading Statistics and Download Logs........... 23 2.3.2 Debate between peer-review based metrics and bibliometrics based metrics................................. 24 2.3.3 National Research Evaluation Exercises............... 25 2.3.3.1 UK.............................. 26 2.3.3.2 Australia........................... 26 2.3.4 Journal Impact............................. 27 2.3.4.1 Impact Factor........................ 27 2.3.4.2 Acceptance Rate....................... 28 2.3.4.3 ABS's Journal Quality Guide................ 28 2.3.4.4 ABDC Journal List..................... 29 2.3.5 Conference Quality........................... 29 2.3.6 University Rankings.......................... 30 2.3.6.1 Webometrics Ranking of World Universities........ 32 Methodology.......................... 32 Coverage............................. 33 Shortcoming........................... 33 2.3.6.2 Guardian Ranking...................... 34 Methodology.......................... 34 Coverage............................. 35 Shortcoming........................... 35 2.3.6.3 Academic Ranking of World Universities (ARWU).... 35 Methodology.......................... 35 Coverage............................. 36 Shortcoming........................... 36 2.3.6.4 World University Ranking By 4 International Colleges & Universities.......................... 37 Methodology.......................... 37 Coverage............................. 37 Shortcoming........................... 37 2.3.6.5 Compare and Contrast................... 37 2.3.7 Summary of measuring research impact............... 38 2.4 The Relationship Between Research Collaboration and Productivity... 39 2.5 The Relationship Between Research Collaboration and Impact...... 41 2.5.1 Types of collaboration......................... 42 2.5.2 Time factors of the collaboration................... 42 2.5.3 Regional and subject variations.................... 43 2.5.4 Alternative collaboration measurements............... 43 2.6 The Relationship Between Research Productivity and Impact....... 44 2.7 Network Models................................ 45 2.7.1 Graph.................................. 45 2.7.2 Random Network Models....................... 45 2.7.3 Small-World Phenomenon....................... 46 2.7.4 The Scale-Free Network Model.................... 48 CONTENTS vii 2.7.5 The Citation Network......................... 49 2.7.6 The Co-citation Network....................... 51 2.7.7 The Co-authorship Network...................... 52 2.7.8 The Erd}osNumber........................... 52 2.7.8.1 Domain analyses....................... 53 2.7.8.2 Network dynamics and evolution.............. 54 2.8 Chapter Summary............................... 55 3 Research Questions 57 3.1 Research collaboration and impact...................... 58 3.2 Research collaboration and productivity................... 59 3.3 Research productivity and impact...................... 60 4 Datasets and Methodology 61 4.1 Computing Resources............................. 61 4.2 Datasets and Pre-processing.......................... 62 University Master List..................... 63 4.2.1 ACM Digital Library Dataset Description.............. 64 4.2.1.1 University Identification in ACM dataset......... 66 4.2.1.2 ACM Dataset University Recognition Rate........ 68 4.2.2 Web of Science Dataset Description................. 70 4.2.2.1 WoS Data Format and Data Relations........... 70 4.2.2.2 WoS University Name Processing............. 72 4.2.2.3 WoS Dataset's University Recognition Rate........ 73 WoS Institution Types..................... 75 4.2.3 Author Disambiguation........................ 75 4.2.3.1 ORCID and ResearcherID................. 76 4.2.3.2 Author Identification and Institutional Repository.... 77 4.2.3.3 Fuzzy approach to Author Identification.......... 77 4.2.3.4 ACM and WoS Author Identification........... 78 4.3 Descriptive Statistics.............................. 79 4.3.1 Paper Productivity........................... 80 4.3.2 Citation................................. 81 4.3.3 Collaborative Papers.......................... 82 4.3.4 Collaboration Size........................... 83 4.4 Metrics Selection and Counting Methods................... 83 4.4.1 Institutional Productivity Measurements............... 84 4.4.2 Institutional Impact Indicators.................... 84 4.4.2.1 Citations per institution................... 85 4.4.2.2 Citation PageRank..................... 86 4.4.2.3 Citations per paper..................... 86 4.4.2.4 University League Table................... 87 4.4.3 Institutional Collaboration Measurements.............
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